How SEC Marketing Rules for Investment Advisers are tested on the Series 65 and 66 exams

  • December 23, 2021

In this article we are going to help you understand regulations surrounding how investment advisers market services to prospective clients.  The SEC has modernized the advertising rules for investment advisers. The new rule sets standards regarding the use of testimonials, performance-based presentations and the use of third-party rating systems. The term advertisement as defined under […]

Read More